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Posted on by T. Gorman Posted in SECActions

The Commission initiated enforcement actions centered on insider trading, a sham transaction and a lack of auditor independence this week. The insider trading case charged a former high-ranking Apple attorney tasked with administrating the firm’s insider trading policy while the …

This Week In Securities Litigation (Week ending Feb. 15, 2019) Read More »

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Posted on by T. Gorman Posted in SECActions

A jury in Connecticut largely acquitted three former Nomura Securities RMBS trades charged with conspiracy, securities and wire fraud tied to allegations that the securities were mismarked. This is the second criminal case where jurors rejected such claims. The SEC …

This Week In Securities Litigation (Week ending June 16, 2017) Read More »

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